Definition
Filing of information is an ominous task. Over the past 10-15 years, the amount of paper generated on
construction projects has more than doubled and it continues to grow. It has grown proportionately with
the amount of questions and mistrust between contractors, owners and architects. Filing is not what it
used to be, the secretary filing a few papers that were never really accessed. Now, the information being
filed is constantly used to verify, confirm and document the construction process.
This chapter will define the minimum standards for filing information at the jobsite. While each project will
have different requirements that will require minor modifications, the minimum standard will give a good
base for filing information. For more information about each of the types of information and how they are
generated, see the corresponding chapter.
Procedure
There are 8 categories for filing information at the project level. Each category is broken down into many
files. The following is a description of the categories, their related files and hints to make the mountains
of paper work readily available when you need them.
Categories
- Subcontractor Files
- Daily Reports
- General Files
- Submittal Files
- Initial Change Documents
- Contract Changes
- Certified Payroll
- General Invoices
There are two keys to having successful record keeping, 1) document events in the project as they
happen and 2) file them in a logical place. Information should be filed to minimize filing time and
maximize the efficiency in finding information.
The file cabinet should be labeled to provide a quick reference of what is in each drawer as noted in the
categories above. The information in each drawer should be filed alphabetically or numerically. The
information within each file should be filed chronologically (by date).
Subcontractor Files
The subcontractor files should be filed in alphabetical order with each file separated into at least four
sections: Correspondence, Certificates, Contracts and Change Orders, and Progress Billings.
Correspondence (left side) - File correspondence chronologically with the oldest information on the
bottom and the most recent information on top. It is important to keep the correspondence in order so it
can be found quickly during a meeting or a phone call.
Certifications (middle left side) Certifications include insurance, long lead items, emergency phone
numbers, and business licenses, etc. These are documents that are updated frequently during a project.
Contracts and Change Orders (middle right side) File numerically. The contract is the first thing received
regarding the subcontractor. It should have a copy of the bid attached for reference during the project. It
has its own section because it is the guideline for that subcontractors work. The change order (no budget
adjustment sheet or back up information) should be placed on top of the contract in chronological order
for the following reasons:
The current contract amount will be available on the change order for billing reference.
The revisions to the contract can be reviewed at a glance.
Progress billings (right side) File chronologically. Each month, a billing will be received and processed.
The billings for each month should be stapled together and filed chronologically to show the progression
of work throughout the job. By filing the billings on the far right side, billings can be reviewed quickly with
the current change orders and contract. Some Managers prefer to file the subcontractor billings behind
the owner progress billing in a monthly file. However, most of the issues that arise come from individual
contractors with questions on their billings or theor billing amount vs their contract. Very rarely does an
issue arise relative to all subcontractor billings vs the owner progress billing. If the situation warrants you
can make a copy of the coversheet of each billing and file it with the owner monthly progress billing. The
key here is time of filing vs use of the information.
Daily Reports
Subcontractors should be required to submit a daily report to NDMJ Construction each day. As they are
transmitted, the Superintendent and Project Manager will review them. Once they have been reviewed
they will be filed in a manila folder marked with that subcontractor's name. The reports are filed in
chronological order with the most current date on top. See- Project Documentation chapter form more
information on Daily Reports
General Files
General files should be filed in alphabetical order with the information in the folder filed in chronological
order. See the list in back of this section for minimum and optional files required. The list can be filed in
the front of the General Files as a quick reference to what is in the file cabinet. See - Project
Documentation chapter form more information on General Files
Submittal Files
See the submittal section for filing requirements
Initial Change Documents
Requests for Information, Requests for Proposal, Supplemental Instructions and any other contract
change document must be filed in a place accessible to all office personnel as well as any
subcontractors and vendors. This only relates to the change document itself, not the associated costs
and correspondence. RFP’s like RFI’s, for example, should be filed in 3” binders and kept on a shelf for
everyone to reference. File the original with all transmission documentation attached in the binder. When
the response is received make the proper distribution and file the response on top of the original RFI. Do
not throw away the original. There are two reasons it is very important to keep the original even after the
response has been received, 1) Fax copies are very hard to read after the third or fourth generation and
the original may need to be referenced, 2) All of the “received and sent” documentation is already attached
to the original copy. Usually 50 RFI originals and responses can be placed in on binder. The binders
should be labeled so the contents can be easily recognized. The same filing procedure can be followed
for RFPs, SI’s etc…
Contract Changes
Contract change files start with the Potential Change Order files (See Section 10 Potential Change Order
for detailed information). When a potential change is first realized a file should be created to store all of
the information that will be accumulated. These files should be available to all office personnel for
review. Subcontractors should not have access to the PCO Files. Write the PCO number on the file.
When the all of the costs have been received for the PCO, assign a Change Order Request number (as
required by the project). Use the same folder for the COR as was used for the PCO file. Place these files
in a file cabinet. All of the information should remain from the PCO file to the Change Order Request File.
When the Change Order request is approved in a Prime Contract Change Order, all of the information
should remain in the Change Order Request File. The log will relate PCO to COR to PCCO for any future
reference. It is not necessary to copy information from each preceding file to be included in the next. If a
PCO is subsequently voided prior to issuing a change order or a change order request, mark the file as
void and file it in the file cabinet.
Certified Payroll
Certified payroll should be received on a weekly basis from the subcontractors. Create a holding file for
easy access. Once all of the certified payroll sheets have been received and reviewed, create a file for
each subcontractor and file the information chronologically with the most current information on top. On
the opposite side of the certified payroll sheets, file the wage rate sheet for that subcontractor's trades for
easy reference. A Certified Payroll Log can be created to track the number of workers onsite each day for
each contractor. This log is then compared to the certified payroll from the subcontractors. See the
certified payroll section for further information.
General Invoices
Invoices and Record of Purchases should be file in alphabetical order. Create a file for each letter of the
alphabet. File each invoice alphabetically by vendor name then by date within the vendor. The ROP
should be on top of the invoice. For smaller projects, a binder can be used.
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